Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Phony Advisor Pleads Guilty to Defrauding 64 Investors
By Dinah Wisenberg BrinThe 24-year-old falsely presented himself as an advisor and claimed to work with a real brokerage.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 25, 2025
$1.3B Northwestern Mutual Team Jumps to LPLThe team provides financial services to clients throughout New England and nationwide.
September 24, 2025
JPMorgan Adds Millionaire Wealth Offering to Dozens of BranchesJ.P. Morgan Private Client bankers are now in 53 branches in New York, Connecticut, Florida and Texas.
September 24, 2025
Schwab Seeks to Offer More Private-Firm Investments, CEO SaysSchwab wants to give its retail investors more opportunities to take stakes in private companies.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 22, 2025
Osaic CEO: 3 Ways the Firm, Advisors Need to AdaptIn the "amazing market" of advice, Jamie Price says, holistic planning, tax work and technology are focal points.
September 22, 2025
Prudential and LPL to Offer New Type of 'Income Overlay' ProductA contingent deferred annuity can create what amounts to an income spigot for an existing portfolio.